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| Section | Weight | Objectives |
|---|---|---|
| Technology in Securities Markets | 8% | - Emerging technologies and their impact - Data security and business continuity - Systems for trading, clearing and settlement |
| Regulatory Framework | 15% | - SEBI Act, Rules and Regulations - Code of conduct and ethical practices - Compliance requirements for intermediaries |
| Market Microstructure | 12% | - Price discovery and market efficiency - Market indices and their calculation - Trading mechanisms and order types |
| Trading Operations | 15% | - Order management and trade execution - Front office functions and processes - Client onboarding and KYC norms |
| Securities Market Overview | 10% | - Types of securities and products - Structure and segments of Indian securities market - Market participants and their roles |
| Investor Protection | 7% | - Investor rights and grievances redressal - Mechanisms for dispute resolution - Investor education and awareness initiatives |
| Risk Management and Margining | 18% | - Margining systems and methodologies - Risk monitoring and control measures - Types of risks in securities operations |
| Clearing and Settlement | 15% | - Delivery versus payment and settlement guarantee - Clearing process and roles of clearing corporations - Settlement cycle and mechanisms |
>> Certification NISM-Series-VII Sample Questions <<
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NEW QUESTION # 294
Which of the following instruments allow Indian companies to raise resources from international capital markets?
Answer: A,B,C,D
Explanation:
Indian companies can raise resources from international markets through GDRs, ADRs, FCCBs, ECBs, and Masala Bonds„,. IDRs are used by foreign companies to raise capital from Indian markets.
NEW QUESTION # 295
In the context of the securities market structure, identifying the correct classification of an issue is critical for regulatory compliance. If an issuer raises resources by issuing shares to a select group of persons rather than the general public, how is this issuance technically classified?
Answer: E
Explanation:
According to the source, resources in the primary market can be raised through a public issue or private placement. If the issue is made to a select group of people, it is termed as a Private Placement. A public issue is when anybody and everybody can subscribe. A Rights Issue is for existing shareholders, and a Bonus issue is without cost involved.
NEW QUESTION # 296
Under what specific circumstance is a broker or client strictly **prohibited** from unblocking securities that have been blocked in favour of the Clearing Corporation?
Answer: D
Explanation:
The regulations stipulate that the Broker or client shall not be allowed to unblock securities if the Early Pay-In (EPI) benefit is provided by the Clearing Corporation to the client for the same.
NEW QUESTION # 297
According to the regulations governing institutional investors in the Indian Cash Market, which of the following combinations of trading activities is strictly PROHIBITED?
Answer: B
Explanation:
No institutional investor shall be allowed to do day trading, i.e., square off their transaction intra-day. All transactions would be grossed for institutional investors at the custodian level, and they are required to fulfill their obligation on a gross basis. Naked short selling is also prohibited.
NEW QUESTION # 298
Regarding the settlement timelines for Mutual Fund transactions executed on the Stock Exchange platform, which of the following statements accurately describes the funds pay-in requirement for subscription and the funds pay-out timeline for redemption?
Answer: B
Explanation:
Funds pay-in for subscription are done on a T+0 day basis. The transfer of funds for redemption is carried out on a T+1 , T+2, T+3, T+4, T+5, T+6 and T+7 basis depending upon the category of scheme.
NEW QUESTION # 299
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